Churning | New York Criminal & Securities Attorney

James Pecoraro Suspended from Securities Industry by FINRA for Churning

James Pecoraro Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-08-07T16:10:42-05:00August 7th, 2022|Tags: advisor, arbitration, AWC, breach of fiduciary duty, broker, churning, customer account, customer complaint, Department of Enforcement, excessive, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Harrison Securities, investigation, James Pecoraro, misrepresentation, negligence, Primary Capital, Quantitatively unsuitable, Rockwell Global Capital, sanction, securities industry, Spartan Capital Securities, suspended, SW Financial, unauthorized, unauthorized transactions, unsuitability, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, James Pecoraro (CRD # 2440231) was recently suspended from the securities industry [...]

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Ian Phillip Lowrey Suspended from Securities Industry by FINRA for Churning

Ian Phillip Lowrey Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-06-14T18:21:27-05:00June 14th, 2022|Tags: AWC, churning, complaint, customer arbitration, customer complaint, Department of Enforcement, excessive trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, Ian Lowrey, investigation, Joseph Gunnar, Joseph Gunnar & Co., Phillip, securities, securities industry, Spartan Capital Securities, suspended, unsuitable, Wynston Hill Capital|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Ian Phillip Lowrey (CRD # 6367392) was recently suspended from the securities [...]

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Palmery Robert Desir (a/k/a Paul Desir) Suspended from Securities Industry by FINRA for Churning

Palmery Robert Desir (a/k/a Paul Desir) Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-06-13T11:02:49-05:00June 13th, 2022|Tags: a/k/a, AWC, churning, Craig Scott Capital, customer complaints, Department of Enforcement, excessive trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, investigation, Joseph Stone Capital, Paul Desir, Paulmery Robert Desir, Richfield Orion International, Rothschild Lieberman LLC, sanction, securities industry, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Palmery Robert Desir, a/k/a Paul Desir (CRD # 5559016) was recently suspended [...]

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Eric Nicolassy Suspended from Securities Industry by FINRA for Churning, Suitability and Unauthorized Trading

Eric Nicolassy Suspended from Securities Industry by FINRA for Churning, Suitability and Unauthorized Trading

By Kevin J. Deloatch, Esq.|2022-04-01T10:42:24-05:00March 28th, 2022|Tags: advisor, Alexander Capital, arbitration, AWC, broker, churning, customer, customer complaint, customer-inititiated, Department of Enforcement, discretion, Eric Edward Nicolassy, Eric Nicolassy, excessive trading, fiduciary duty, FINRA, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 3260, fraud, investigation, Network 1 Financial Securities, sanction, securities industry, suitability, suspended, unauthorized trading, Woodstock Financial Group|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Eric Edward Nicolassy (CRD # 6244539) was recently suspended from the securities industry by [...]

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William Nicholas Athas Barred from Securities Industry by FINRA for Churning and Suitability

William Nicholas Athas Barred from Securities Industry by FINRA for Churning and Suitability

By Kevin J. Deloatch, Esq.|2022-02-10T09:08:57-05:00February 10th, 2022|Tags: 10b-5, arbitration, bar, barred, churning, customer complaint, Department of Enforcement, disciplinary proceedings, excessive trading, FINRA, FINRA Rule 2010, FINRA Rule 2020, FINRA Rule 2111, K.C. Ward Financial, Liberty Partners Financial Services, misrepresentation, negligence, Nicholas, ODA, Rule 10b-5, Securities Exchange Act of 1934, securities industry, suitability, SW Financial, unauthorized trading, unsuitability, unsuitable, violation, William Athas, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, William Nicholas Athas (CRD # 3165470) was recently barred from the securities industry by [...]

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Joseph LaScala, Jr. Suspended by FINRA from Securities Industry for Churning and Unauthorized Discretion

Joseph LaScala, Jr. Suspended by FINRA from Securities Industry for Churning and Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-01-26T19:50:29-05:00January 26th, 2022|Tags: advisor, Aegis Capital Corp, AWC, Brian, broker, churning, customer account, customer complaint, Department of Enforcement, excessive, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, Gunallen Financial, investigation, Joseph LaScala, Jr., NASD, NASD Rule 2510(b), Paulson Investment Company, Quantitatively unsuitable, sanction, securities industry, suspended, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joseph LaScala, Jr. (CRD # 3070261) was recently suspended from the securities industry by [...]

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John LoPinto Suspended from Securities Industry by FINRA for Excessive Trading

John LoPinto Suspended from Securities Industry by FINRA for Excessive Trading

By Kevin J. Deloatch, Esq.|2022-01-21T11:36:44-05:00January 21st, 2022|Tags: arbitration, AWC, breach of contract, breach of fiduciary duty, churning, customer account, customer complaint, Department of Enforcement, excessive trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, investigation, J.P. Turner, John LoPinto, Legend Securities, Michael, misrepresentation, National Securities Corporation, negligence, Quantitatively unsuitable, securities industry, suitability, suspended, unsuitable, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, John LoPinto (CRD # 4563735) was recently suspended from the securities industry by [...]

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Adam Maggio Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

Adam Maggio Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

By Kevin J. Deloatch, Esq.|2022-01-27T21:47:27-05:00December 13th, 2021|Tags: Adam Maggio, All principal capacities, AWC, breach of fiduciary duty, Brundyn Securities, customer accounts, customer complaint, Department of Enforcement, Excessive activity, failure to supervise, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, First Midwest Securities, fraud, J.P. Turner & Company, Joseph Stone Capital, misrepresentation, negligence, Reasonably supervise, red flags, sales practice violations, securities industry, suspended, unauthorized trading, unsuitability, VCS Venture Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Adam Maggio (CRD # 4177365) was recently suspended from all principal capacities in [...]

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Joseph Lianzo Suspended from Securities Industry by FINRA for Churning and Unauthorized Trading

Joseph Lianzo Suspended from Securities Industry by FINRA for Churning and Unauthorized Trading

By Kevin J. Deloatch, Esq.|2021-09-03T10:44:20-05:00September 3rd, 2021|Tags: arbitration, AWC, Cape Securities, churning, customer account, customer complaints, De facto control, Department of Enforcement, excessive trading, excessively traded, FINRA, FINRA Rule 2010, FINRA Rule 2111, Joseph Lianzo, Laidlaw & Co., Quantitatively unsuitable, sanction, sanctioned, sanctions, securities industry, suspended, SW Financial, unauthorized trades, unauthorized trading, unsuitability, unsuitable, unsuitable recommendation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Joseph Lianzo (CRD # 4516842) was recently suspended from the securities industry by [...]

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Donald Fowler Barred from Securities Industry by FINRA for Churning and Fraud

Donald Fowler Barred from Securities Industry by FINRA for Churning and Fraud

By Kevin J. Deloatch, Esq.|2021-08-26T13:07:24-05:00August 26th, 2021|Tags: American Capital Partners LLC, arbitration, AWC, bar, barred, breach of fiduciary duty, broker, churning, customer accounts, customer complaint, Department of Enforcement, Donald Fowler, excessive trading, excessively trading, Exchange Act, fiduciary duty, FINRA, FINRA Rule, FINRA Rule 2010, FINRA Rule 2020, FINRA Rule 2111, former broker, fraud, J.D. Nicholas & Associates, misrepresentation, negligence, Rule 10b-5, sanction, Section 10(b), securities industry, unauthorized trading, unsuitable, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that former broker, Donald Fowler (CRD # 4989632) was recently barred from the securities [...]

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